{"url":"https://nivawealth.com/firms/a-j-feldman-financial-154773","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/154773","regulatoryAum":135922400,"crd":"154773","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5146719","suffix":null,"lastName":"FELDMAN","firstName":"ANDREW","middleName":"JULIUS"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-03-03","regulatoryAum":112575000,"clients":144,"employees":1,"offices":1},{"filedOn":"2026-02-17","regulatoryAum":135922400,"clients":140,"employees":1,"offices":1}],"secFileNumber":"801-131716","legalName":"A J Feldman Financial, LLC","displayName":"A J Feldman Financial","slug":"a-j-feldman-financial-154773","website":"https://ajfeldmanfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/aj-feldman-financial/","founded":null,"organization":"Illinois limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"2 January 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":966231.4285714285,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":135922400,"discretionary":135922400,"discretionaryAccounts":631,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":109,"regulatoryAum":62172400},{"label":"High-net-worth individuals","clients":31,"regulatoryAum":73100000},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":650000}],"feePrograms":[{"role":"main","program":"Investment Supervisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009653","versionId":1009653,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-02-17","documentName":"PART 2A,2B","fee_rate_low":0.9,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":100000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Services","summary":"Financial planning is negotiable and billed hourly at a current rate of $300. The fee is payable directly by the client, not from the account.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009653","versionId":1009653,"submittedOn":"2026-02-17","documentName":"PART 2A,2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:11:12.75103+00:00","documents":[{"name":"PART 2A,2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009653","versionId":1009653,"submittedOn":"2026-02-17"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":135922000}],"custodyNote":"A J Feldman Financial has custody of $22.6M in client assets for 9 clients.","otherCustodians":[],"leadership":[{"name":"Andrew Feldman","title":"Managing Member / Chief Compliance Officer","crd":"5146719"}],"ownership":[{"label":"Andrew Feldman","detail":"Managing member / chief compliance officer in the 75% or more ownership band and a control person, since August 2010."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"847-607-8249","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":2},{"label":"U.S. government/agency bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":90},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"17 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/154773/PDF/154773.pdf","brochureDate":"17 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009653","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does A J Feldman Financial have?","answer":"A J Feldman Financial has 140 clients and manages $136 million for them, as of February 2026. They include 109 individual clients and 31 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does A J Feldman Financial offer?","answer":"A J Feldman Financial provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does A J Feldman Financial charge?","answer":"A J Feldman Financial charges 0.90%–1.50% a year for its Investment Supervisory Services. The fee is billed in advance, is negotiable and requires an account of at least $100,000.","source":"PART 2A,2B, filed 17 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does A J Feldman Financial use?","answer":"A J Feldman Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $136M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 February 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does A J Feldman Financial have?","answer":"A J Feldman Financial has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does A J Feldman Financial invest in?","answer":"At the end of its last fiscal year, A J Feldman Financial’s separately managed accounts held 90% registered funds (mutual funds, ETFs, BDCs), 6% U.S. government and agency bonds, 2% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does A J Feldman Financial have a minimum investment?","answer":"Yes, A J Feldman Financial’s minimum account size for its Investment Supervisory Services is $100K.","source":"PART 2A,2B, filed 17 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns A J Feldman Financial?","answer":"A J Feldman Financial’s direct owner is Andrew Feldman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does A J Feldman Financial get paid?","answer":"A J Feldman Financial is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact A J Feldman Financial?","answer":"Its phone number is 847-607-8249. Its website is ajfeldmanfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 17 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}